Our Staff has compiled our research into a database of FINRA Broker Disclosures for Northwestern Mutual Investment Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Gregory Scott Simpson | 2880777 | 1 | 11/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Velazquez | 4499952 | 1 | 10/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tihana Medic | 6872608 | 4 | 10/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Andrew Case | 6707710 | 3 | 10/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Andrew Case | 6707710 | 3 | 10/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Andrew Case | 6707710 | 3 | 10/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd David Deamicis | 3263889 | 2 | 10/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Megan J Rutherford | 6719728 | 1 | 10/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Logan D Burns | 6410789 | 13 | 09/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Alan Neal | 3176903 | 3 | 09/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |